Broker Dealer Jobs in USA with Visa Sponsorship
Broker dealer roles in the U.S. require FINRA licensing, regulatory knowledge, and typically a finance or economics degree, all of which support H-1B visa specialty occupation eligibility. Firms at major financial centers actively sponsor qualified international candidates, though Series exam requirements add a post-hire step. For detailed occupation requirements, see the O*NET profile.
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What is the opportunity?
Our Law Group seeks an in-house counsel to provide legal support to a dually-registered broker-dealer and registered investment adviser. In this role, you will be responsible for drafting and reviewing legal documents, conducting legal research, and advising on complex legal, regulatory, and operational matters affecting our business. You will work with business units to analyze legal risks and support the implementation of business strategy. This is an excellent opportunity to develop your expertise in financial services law while working with a collaborative, high-performing legal team.
What will you do?
- Drafts, reviews, and advises on contracts, disclosures, and legal documents related to broker-dealer and RIA products and services.
- Conducts legal research on laws, rules, regulations, and industry guidance affecting assigned areas of responsibility.
- Prepares legal opinions and memoranda on laws, rules, and regulations applicable to the business, including SEC, FINRA, and state securities laws.
- Provides counsel and assistance on legal matters pertaining to broker-dealer and investment adviser operations.
- Identifies regulatory and legal gaps and recommends policy development and operational improvements.
- Assists with escalated risk issues and provides guidance on legal implications and mitigation strategies.
- Manages billing and administrative tasks associated with legal matters, including matter management and vendor billing coordination with outside counsel.
- Supports senior attorneys on assigned legal matters.
- Complies fully with all company policies and procedures and all legal and regulatory requirements.
What do you need to succeed?
Must have:
- Juris Doctor (J.D.) and authorized to practice law in the state of Minnesota.
- A minimum 3 years of experience as a lawyer at a law firm or in-house legal department.
- Demonstrated ability in written and oral communication skills, with strong presentation skills and ability to translate complex legal and regulatory requirements into clear written materials.
- Strong legal research and analysis skills, with excellent problem-solving abilities and the capacity to manage multiple projects concurrently and meet deadlines.
- Ability to work effectively with cross-functional teams and exercise sound business judgment in advising on legal and regulatory matters.
Nice-to-have:
- Relevant experience providing counsel on securities, investment advisory, and/or broker-dealer matters.
- Working knowledge of SEC rules, FINRA regulations, state securities laws, and other applicable regulatory frameworks governing broker-dealers and investment advisers.
- Experience advising on multiple product lines, including mutual funds, insurance and annuities, alternative investments, retirement products, or securities-based lending.
- Experience in a large financial services corporation or similar complex regulatory environment.
What's in it for you?
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, and stock where applicable.
- Leaders who support your development through coaching and mentoring opportunities.
- Ability to make a difference and lasting impact in a dynamic financial services environment.
- Work in a collaborative, progressive, and high-performing legal team.
- Opportunities to do challenging and meaningful work in a regulated industry.
The good-faith expected salary range for the above position is $125,000 - $175,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.
RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
- Drives RBC’s high performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
Job Skills
Business Perspective, Coaching Others, Customer Service Management, Decision Making, Financial Regulation, Group Problem Solving, High Impact Communication, Legal Practices, Time Management
Additional Job Details
Address:
250 NICOLLET MALL:MINNEAPOLIS
City:
Minneapolis
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2026-09-23
Application Deadline:
2026-10-07
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.
Job Description
What is the opportunity?
Our Law Group seeks an in-house counsel to provide legal support to a dually-registered broker-dealer and registered investment adviser. In this role, you will be responsible for drafting and reviewing legal documents, conducting legal research, and advising on complex legal, regulatory, and operational matters affecting our business. You will work with business units to analyze legal risks and support the implementation of business strategy. This is an excellent opportunity to develop your expertise in financial services law while working with a collaborative, high-performing legal team.
What will you do?
- Drafts, reviews, and advises on contracts, disclosures, and legal documents related to broker-dealer and RIA products and services.
- Conducts legal research on laws, rules, regulations, and industry guidance affecting assigned areas of responsibility.
- Prepares legal opinions and memoranda on laws, rules, and regulations applicable to the business, including SEC, FINRA, and state securities laws.
- Provides counsel and assistance on legal matters pertaining to broker-dealer and investment adviser operations.
- Identifies regulatory and legal gaps and recommends policy development and operational improvements.
- Assists with escalated risk issues and provides guidance on legal implications and mitigation strategies.
- Manages billing and administrative tasks associated with legal matters, including matter management and vendor billing coordination with outside counsel.
- Supports senior attorneys on assigned legal matters.
- Complies fully with all company policies and procedures and all legal and regulatory requirements.
What do you need to succeed?
Must have:
- Juris Doctor (J.D.) and authorized to practice law in the state of Minnesota.
- A minimum 3 years of experience as a lawyer at a law firm or in-house legal department.
- Demonstrated ability in written and oral communication skills, with strong presentation skills and ability to translate complex legal and regulatory requirements into clear written materials.
- Strong legal research and analysis skills, with excellent problem-solving abilities and the capacity to manage multiple projects concurrently and meet deadlines.
- Ability to work effectively with cross-functional teams and exercise sound business judgment in advising on legal and regulatory matters.
Nice-to-have:
- Relevant experience providing counsel on securities, investment advisory, and/or broker-dealer matters.
- Working knowledge of SEC rules, FINRA regulations, state securities laws, and other applicable regulatory frameworks governing broker-dealers and investment advisers.
- Experience advising on multiple product lines, including mutual funds, insurance and annuities, alternative investments, retirement products, or securities-based lending.
- Experience in a large financial services corporation or similar complex regulatory environment.
What's in it for you?
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, and stock where applicable.
- Leaders who support your development through coaching and mentoring opportunities.
- Ability to make a difference and lasting impact in a dynamic financial services environment.
- Work in a collaborative, progressive, and high-performing legal team.
- Opportunities to do challenging and meaningful work in a regulated industry.
The good-faith expected salary range for the above position is $125,000 - $175,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.
RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
- Drives RBC’s high performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
Job Skills
Business Perspective, Coaching Others, Customer Service Management, Decision Making, Financial Regulation, Group Problem Solving, High Impact Communication, Legal Practices, Time Management
Additional Job Details
Address:
250 NICOLLET MALL:MINNEAPOLIS
City:
Minneapolis
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2026-09-23
Application Deadline:
2026-10-07
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.
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Get Access To All JobsTips for Finding Broker Dealer Jobs
Target broker dealers with established H-1B programs
Large wirehouses and institutional trading firms file H-1B petitions far more consistently than smaller regional dealers. Prioritize firms with a documented history of sponsoring international hires in compliance, trading, or investment banking divisions.
Frame your degree around specialty occupation criteria
USCIS requires a direct relationship between your degree field and the broker dealer role. A finance, economics, or accounting degree strengthens your petition. A general business degree may require supporting documentation showing the role demands specialized knowledge.
Understand the Series licensing timeline
FINRA Series 7 or Series 63 licensing is required post-hire, not before. Employers sponsor your license after you start. Clarify with your hiring manager whether licensing completion affects your H-1B petition timeline or probationary standing.
Register for the H-1B lottery before you have an offer
H-1B registration opens in March for an October start date. If you are job searching in late 2025, aim to secure an offer by February so your employer can register you. Missing the window means waiting a full year for the next cycle.
Ask specifically about cap-exempt employer affiliations
Some broker dealers are affiliated with universities or nonprofits, making them cap-exempt. Cap-exempt employers can file H-1B petitions year-round without lottery entry. Ask your recruiter directly whether the entity filing your petition qualifies for this exemption.
Prepare your LCA and prevailing wage documentation early
Your employer must file a Labor Condition Application with the Department of Labor before submitting your H-1B petition. The LCA certifies your offered wage meets the prevailing rate for broker dealer roles in your work location. Delays here push back your whole timeline.
Frequently Asked Questions
Do broker dealer jobs qualify for H-1B visa sponsorship?
Yes, broker dealer roles typically qualify as H-1B visa specialty occupations because they require at minimum a bachelor's degree in finance, economics, accounting, or a related field. USCIS evaluates whether the specific role demands specialized knowledge rather than general business skills, so the job description matters. Roles focused on compliance, quantitative analysis, or institutional trading tend to have stronger petition outcomes than generalist sales positions.
Which visa types are most common for broker dealer roles?
The H-1B is the primary visa for international broker dealer hires. Australian citizens may qualify for the E-3 visa, which has no lottery and is significantly easier to obtain. Canadian and Mexican nationals can explore the TN visa under the USMCA. O-1B is an option for candidates with exceptional credentials, though the standard in financial services is the H-1B petition filed by the sponsoring firm.
Do I need my FINRA Series 7 license before applying for sponsorship?
No. FINRA licensing is completed after you are hired, not before. Employers sponsor you for the Series 7, Series 63, or other required exams once you have started. However, some firms factor in your ability to pass licensing exams quickly when making hiring decisions, so demonstrating familiarity with securities regulation during your interview can strengthen your candidacy.
How competitive is H-1B sponsorship for broker dealer roles?
Sponsorship availability varies significantly by firm size. Large institutional broker dealers and wirehouses routinely sponsor H-1B petitions and have immigration counsel on retainer. Smaller regional broker dealers may be willing but lack experience with the process, which can cause delays or errors. The H-1B lottery itself has roughly a 25% selection rate, making the March registration window critical. You can browse sponsoring firms in broker dealer roles on Migrate Mate.
What happens to my visa status if my broker dealer employer loses their FINRA registration?
If your employer loses their FINRA registration or ceases operations, your H-1B status is tied to that specific employer and petition. You enter a 60-day grace period to find a new sponsor, file an extension, or change status. Portability rules under AC21 allow you to transfer your H-1B to a new employer in a same or similar role if your petition has been approved for 180 days or more.
What is the prevailing wage requirement for sponsored Broker Dealer jobs?
U.S. employers sponsoring a visa must pay at least the prevailing wage, which is what workers in the same role, area, and experience level typically earn. The Department of Labor sets this rate to make sure companies aren't hiring foreign workers simply because they'd accept lower pay than a U.S. worker. It varies by job title, location, and experience. You can look up current prevailing wage rates for any occupation and location using the OFLC Wage Search page.